 | Joseph McCahery, Theo Raaijmakers, Erik M. Vermeulen - 2004 - 458 páginas
...statements made, in the light of the circumstances under which they were made, not misleading, or (s) To engage in any act, practice, or course of business...would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any secutity. 17 CFR $ 240.10b-5 (1997). On the applicahility... | |
 | Andrew J. Sherman - 2004 - 436 páginas
...the statements made, in light of the circumstances under which they were made, not misleading; or (c) engage in any act, practice, or course of business...would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security. The most frequent use of Rule 10b-5 has been... | |
 | James B. Witkin - 2004 - 1053 páginas
...make the statements made, in light of the circumstances under which they were made, not misleading • To engage in any act, practice, or course of business...operates or would operate as a fraud or deceit upon any person58 In other words, while Regulation SK imposes a duty to make certain disclosures, the full force... | |
 | Douglas L. Hammer, Carolyn S. Reiser, Geoffrey W. Haynes, Neil J. Koren - 2005 - 405 páginas
...state a material fact necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading, or (c)...would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security.171 The provisions of Exchange Act section 10(b)... | |
 | C. Gregory Rogers - 2005 - 384 páginas
...statements made, in the light of the circumstances under which they were made, not misleading, or iii) To engage in any act, practice, or course of business...would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security.3 Rule 21 0.1 -02 (Regulation SX) The term material,... | |
 | Sverige. Prospektutredningen - 2005 - 151 páginas
...the statements made, in the light of circumstances under which they were made, not misleading, or (3) To engage in any act, practice, or course of business...would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security. Att Rule 10b-5 omfattar sĺväl köp som försäljning... | |
 | Hui Huang, Robin Hui Huang - 2006 - 356 páginas
...instrumentality of interstate commerce, or of the mails or of any facility of any national securities exchange, (a) To employ any device, scheme, or artifice to defraud,...would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security.28 In contrast with Section 10(b), Rule 10b-5... | |
 | Darrell R. Larsen - 2005 - 341 páginas
...state a material fact necessary in order to make the statements made, in light of the circumstances in which they were made, not misleading; or (c) to engage...would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security.47 An extensive body of case law analyzes various... | |
 | James M. Bartos, Jim Bartos - 2006 - 299 páginas
...statements made, in the light of the circumstances under which they were made, not misleading, or (3) To engage in any act, practice, or course of business...would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security". Specific measures. Plaintiffs can also bring... | |
 | Robert Walker, Robert Mark Walker - 2006 - 349 páginas
...statements made, in the light of the circumstances under which they were made, not misleading, or • To engage in any act, practice, or course of business...would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security In Plain English, the above anti-fraud statute... | |
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... (a) To employ any device, scheme, or artifice to defraud, (b) To make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were... 
